1. Why Open Access is important: rationale and background to RCUK policy
Bill Hubbard
Centre for Research Communications, LRLR
Tuesday, April 30, 2019
RCUK Policy on Open Access to research outputs, Arts Faculty Briefing, EMCC, 13th February 2013

2. What is Open Access? Making research articles available to everyone
Removing barriers based on ability to pay to read
Facilitating re-use, so more people can use, cite and build on research

3. Drivers Researchers need access to articles
Prices rise faster than inflation: budgets do not
Publicly funded research is unavailable to the public
Author’s benefits of increased citation and use
The old system was breaking and unsustainable - the internet gave us the chance to evolve
Harvard announced last year it could not afford all of the journals it needed
NHS-funded research articles :
(90%) of the resulting research articles exist in online full text form, less than a third (30%) of the online full texts are accessible to the general public immediately upon publication.
Only 40% of the online full texts are immediately accessible to NHS staff.
Open Access
Greater availability and wider readership
Increased citations
New contacts and research possibilities
Information management
REF and evaluation
As resource for academic services
Support for new forms and systems of research communication and collaboration

4. Achieving Open Access Repositories Journals Complementary approaches
Institutional
Subject-based
Journals
Open Access Journals
Hybrid journals
Complementary approaches
“Sticking it on the web” and why that is not a good idea
So-called “Gold” and “Green”

5. What Open Access is not A subversion of peer-review
A replacement for publication
An invitation to plagiarism
An attack on copyright

6. Where we are so far . . . Repositories Journals Funder policies
2260 worldwide, 209 UK-based
Journals
8622 journals worldwide - plus hybrids
Funder policies
Publications: 81, Data: 32, OA Journals: 49
Institutional policies
163 policies reported, plus etheses
Services and processes in place
Sources: Repositories, OpenDOAR; Journals, DOAJ; Policies, JULIET. Accessed:

7. Governmental and RCUK adoption
Parliamentary Inquiry, 2004
NIH, first version 2005
RCUK Policy, first version in 2006
European Commission, developments from 2007
Willetts’ speech to Publishers Association, May 2012
Finch Report, June 2012
RCUK Policy, from April 2013
REF 2020
Willetts Speech.
2 May 2012, Publishers Association annual general meeting, London
“Our starting point is very simple. The Coalition is committed to the principle of public access to publicly-funded research results. That is where both technology and contemporary culture are taking us. It is how we can maximise the value and impact generated by our excellent research base. As taxpayers put their money towards intellectual enquiry, they cannot be barred from then accessing it. “
“Separately, a report this year from the US Committee for Economic Development has concluded that the US National Institute of Health’s policy of open access after one year has accelerated scientific progress and the transition from basic research to commercialisation; generated more follow-on research and more citations; and reduced duplicate or dead-end lines of inquiry - so increasing the US government’s return on its investment in research. The researcher Philip Davis, meanwhile, has found that when publishers randomly made certain articles open access on journal websites, readership increased by up to 250% compared to protected articles. “
RCUK version required OA archiving
For example:
AHRC
Whether to Archive:
* Requires deposition in Open Access archives
What to Archive:
* Peer-reviewed publications, Conference papers * Unspecified version * Unspecified format
When to Archive:* At the earliest possible opportunity * Metadata must be deposited at the date of publication 
Where to Archive:
In any appropriate repository (Required) 
Archiving Conditions:
* Publisher's copyright, licensing & * embargo policies must be respected * Metadata must include a link to the publisher's website

8. University response University Repository in 2001
University Publication Fund in 2007
University Open Access Policy in 2009
2013
Accepted RCUK funding to kick-start University response and compliance
University’s Policy
All research papers (including journal articles, conference proceedings, book chapters and similar material), where copyright allows, should be made available in an open access form upon publication.
All research papers (either in the form of the author's final manuscript or the formally-published version), where copyright allows, should be deposited in the Nottingham ePrints repository upon publication or as soon as possible thereafter.
Where available, researchers should take advantage of opportunities to publish their work in an open access form offered by journal publishers, and can make use of research grants and/or the central Open Access publication fund, in order to pay open access publication fees.

12. RCUK definition of Open Access
“Unrestricted, on line access to peer reviewed and scholarly papers” so that users can:
Read published research papers in an electronic format
Search for and reuse the content of papers – subject to proper attribution. CC-BY licence.
Tuesday, April 30, 2019
Event Name and Venue

13. What is a compliant journal
Provides via its own website immediate and unrestricted access to the publisher’s final version of the paper and allows immediate deposit in other repositories.
May involve Article Processing Charge
CC-BY licence OR
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Event Name and Venue

14. What is a compliant journal
Allow deposit of Accepted Manuscript including changes from peer review in other repositories without restriction on non commercial reuse and within a defined period.
No Article Processing Charge will be payable to the publisher
Defined period = 6 months from online publication (except AHRC and ESRC which = 12 months)
Tuesday, April 30, 2019
Event Name and Venue

15. CC-BY Attribution CC BY
This license lets others distribute, remix, tweak, and build upon your work, even commercially, as long as they credit you for the original creation. This is the most accommodating of licenses offered. Recommended for maximum dissemination and use of licensed materials.
Tuesday, April 30, 2019
Event Name and Venue

16. Claimants Claimants predominantly from Medical and Life Sciences areas
Data current at end of 09/10 academic session 16

17. OpenDOAR Global breakdown

18. Institutional repositories
Institutional or subject-based
subject-based portals or views
OAI-PMH allows a single gateway to search and access across repositories
Practical reasons for institutional approach
use institutional infrastructure - sustainability
integration into work-flows and systems
support is close to academic users
support departmental websites 18

19. Academic Spring